DID WILLIAM HARVEY BRYANT CAUSE YOU INVESTMENT LOSSES?
About William Bryant formerly with Independent Financial Group, LLC?
William Bryant (CRD #1732547) has a considerable history in the securities industry, though he is not currently registered. Over his career, Bryant has been associated with several securities firms including Independent Financial Group, LLC, LPL Financial LLC, and Banc of America Investment Services, Inc., with tenures spanning from April 2003 to December 2023. He has passed three general industry/product exams and two multi-state securities law exams. These include the General Securities Representative Examination (Series 7), the National Commodity Futures Examination (Series 3), the Uniform Investment Adviser Law Examination (Series 65), and the Uniform Securities Agent State Law Examination (Series 63).
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
William Bryant Customer Complaints and Reviews
William Bryant’s regulatory and professional history includes the following disclosures:
- Customer Dispute (1): A pending dispute involves allegations that an investment made in 2013 was unsuitable based on the customer’s investment objectives and risk tolerance. The specifics of the alleged damage are not fully determined but exceed $5,000. This case was filed for arbitration with FINRA under Docket #24-00611 in March 2024.
- Termination (1): Bryant was discharged from LPL Financial LLC in May 2019 following allegations that he exercised discretion in client accounts without written authorization. This action indicates a serious breach of standard regulatory requirements and firm policies regarding client account management.
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Allegations Against William Bryant
- Regulatory Actions: No specific regulatory sanctions beyond employment terminations are noted, except for the direct implications related to the mentioned customer dispute and termination.
- Customer Complaints:
- The alleged unsuitability of an investment related to real estate security, with arbitration proceedings initiated, reflects serious concerns regarding Bryant’s adherence to suitability standards.
- Termination:
- The termination of LPL Financial due to unauthorized discretionary actions in client accounts suggests potential issues with adherence to the regulatory and ethical standards expected in the industry.
William Bryant Red Flags & Your Rights As An Investor
Of course, William Bryant did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Bryant at Independent Financial Group, LLC on alert to review carefully the activity and performance of their accounts and question whether William Bryant has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Independent Financial Group, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Independent Financial Group, LLC Due To William Bryant
If you have questions about Independent Financial Group, LLC and/or William Bryant and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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